Guidepost in Motion EP24: State of Compliance with Alixandra Smith Part 1
12 O'Clock High, a podcast on business leadership-Goldman Sachs, 100+ Hour Work Weeks and Millennials
FCPA Compliance Report- Eric Young on Fed & DFS Components of the Goldman Sachs Enforcement
Compliance into the Weeds: The Goldman Sachs FCPA Enforcement Action
Everything Compliance-Emergency Video Podcast on the Goldman Sachs FCPA Settlement
Daily Compliance News: July 25, 2020-the Goldman Settles edition
12 O'Clock High, a podcast on business leadership-Business Leadership Failures from 2019-Goldman Sachs
Top Five Corporate Scandals of 2018: Episode II-1MDB and Goldman Sachs
Weekly Brief: Rakoff Orders Gupta To Pay Goldman Sachs' Legal Fees
Non-US Broker Fined by CFTC for Soliciting Futures Orders and Handling Funds for Two US Customers Without Registration or an Exemption: Otkritie Capital International, Ltd., a UK-based broker, agreed to settle charges with...more
The Commission resolved actions with SAC Capital founder Steven Cohen and the former Chairman of Dewey & Leboeuf in addition to filing settled actions against Goldman Sachs and State Street. The agency also filed another...more
In a lengthy opinion issued yesterday, Justice Kathleen M. Banke explains naked short selling, describes the mechanics of executing and clearing stock trades, describes the SEC’s Regulation SHO, and recounts the SEC’s...more
CFTC Staff Authorizes University to Offer Election and Economic Indicator Binary Options Without Registration as an Execution Facility: The Division of Market Oversight of the Commodity Futures Trading Commission...more